Draft Amendment to UPERC Terms and Conditions for Open

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                                             Schedule-A




                                           Procedure for
                             Long-Term Open Access




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                                                   CONTENTS


1. OUTLINE

2. GRANT OF OPEN ACCESS

      2.1 SUBMISSION OF APPLICATION

      2.2 PROCESSING OF APPLICATION

      2.3 CONFIRMATION OF RESERVATION OF CAPACITY

3.   BULK        POWER          TRANSMISSION               AGREEMENT             AND/OR   BULK   POWER
     WHEELING AGREEMENT

4. SCHEDULING AND REVISION OF SCHEDULES

5. OTHER COMMERCIAL CONDITIONS

6. METERING

7. ENERGY LOSS

8. TRANSMISSION AND DISTRIBUTION SYSTEM CONSTRAINTS

9. GENERAL




FORMATS


FORMAT-LT1: APPLICATION FOR LONG-TERM OPEN ACCESS

FORMAT-LT2: APPROVAL FOR LONG-TERM OPEN ACCESS




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                                                  Schedule-A

                          Procedure for Long-Term Open Access

1.     OUTLINE


1.1     This procedure shall apply to the application made for long-term open access for
      use of intra-State transmission system and/or distribution system with associated
      facilities for transmission and/or wheeling of electricity, with or without inter-State
      transmission system.
                 Provided the procedure made hereunder shall be in addition to and not in
      derogation to open access regulations or any procedure made thereunder by the
      Central Electricity Regulatory Commission for inter-State transmission system.


1.2    It aims at easy and pragmatic disposal of application made for long-term access.
      However, some problems may still be experienced.                                  This procedure shall be
      reviewed or revised by the Commission by an order on an application moved by
      the Nodal Agency citing the reasons and/or cases requiring such consideration.


1.3 All correspondences shall be addressed to the following Officer of State
      Transmission Utility (STU):
       Chief Engineer (Transmission),
       11th Floor, Shakiti Bhawan Extension,
       14-Ashok Marg,
      Lucknow-226 001
       Tel: (STU to specify)
       Fax: (STU to specify)
       E-mail: (STU to specify)


2.     GRANT OF OPEN ACCESS




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2.1    SUBMISSION OF APPLICATION


2.1.1 The long-term open access customer (hereinafter referred to as “customer”),
      intending to avail long-term access shall make an application on format [FORMAT-
      LT1] with STU in a cover marked “Application for Long-Term Open Access”.


2.1.2 In case electricity system strengthening is involved, the customer shall apply for
      long-term access 2 to 4 years in advance (based on nature and quantum of work
      involved).
      Note: ‘System strengthening’ shall mean to include augmentation or renovation or
             modernisation or expansion of any equipment or sub station and/or electric line
             and construction of new substation and/or electric line.


2.1.3 The application shall be accompanied by non-refundable application fee of Rs.
      50,000/- (or as determined by the Commission from time to time by an order) in
      cash or by demand draft in favour of the officer so notified by STU payable at
      Lucknow.


2.1.4 STU shall acknowledge receipt of the application by indicating time and date on
      an “ACKNOWLEDGEMENT” to the customer.


2.1.5 In case in the opinion of the customer, system strengthening is involved, he shall
      normally request STU for necessary actions or studies, however, such request is
      not mandatory and STU may take necessary action even in absence of such
      request.

2.1.6 The application may be submitted only by post or in person.


2.2         PROCESSING OF APPLICATION

2.2.1 The application shall be processed immediately but not later than seven days by
      STU on first come first served basis and it shall seek system feasibility reports,


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      along with a copy of the customer’s application, from transmission licensee and/or
      distribution licensee involved in transaction for permitting open access. STU shall
      also make endorsement of the same with its enclosures to SLDC.

2.2.2 The transmission licensee and/or distribution licensee, as the case may be, shall
      carry out system feasibility study and respond to STU within thirty days. The
      licensee’s reports shall invariably include site drawings, schedule of site
      responsibility and any other information necessary for consideration of STU. The
      feasibility repots may suggest that:

      (a) system strengthening is not required. In such case STU shall access the
            capacity available and communicate the decision to SLDC with copy to
            transmission licensee and/or distribution licensee, as the case may be, and
            follow hereunder sub-clause 2.3.1.

      (b) there is a constraint in electricity system and system strengthening is
            necessary. The licensee shall submit adequate data and drawings in support of
            suggestion of system strengthening for consideration of STU.


2.2.3 STU shall assess the requirement of system strengthening, under sub-clause
      2.2.2(b), and on being satisfied, communicate decision to the customer within
      fifteen days requiring him to pay fee of Rs. 1 lac (or as determined by the
      Commission from time to time by an order) for system studies. The fee shall be
      paid within fifteen days failing which the application shall be deemed rejected at
      the discretion of STU. STU may also cause the customer to furnish any additional
      information required for system studies and follow hereunder sub-clause 2.3.2.
                 If the opinion is that system strengthening is not required, STU may seek
      clarification or additional information from licensee and/or the customer and
      reassess the requirement of system strengthening. On final decision that system
      strengthening is not required, the matter shall be decided under sub-clause
      2.2.2(a).




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2.3         CONFIRMATION OF RESERVATION OF CAPACITY


2.3.1 Where electricity system strengthening is not required


      (i) STU shall communicate the decision, under sub-clause 2.2.2(a) to SLDC within
             seven days along with the customer’s application and licensee’s report(s).


      (ii) STU, in consultation with SLDC, shall check transaction for congestion of any
             element (electric line and transformer) of transmission and/or distribution
             system involved in open access transaction.


      (iii) STU shall confirm grant of open access on format [FORMAT-LT2] within sixty
             days of receipt of the application with direction to the customer to enter into
             Bulk Power Transmission Agreement (BPTA) and/or Bulk Power Wheeling
             Agreement (BPWA) with concerned transmission licensee and/or distribution
             licensee within thirty days.


      (iv) STU shall not permit open access if transaction may cause congestion of any
             of the element of involved transmission and/or distribution system.


      (v) In the event of an offer becomes invalid or rejected by the customer, STU shall
             not be required to consider any further application from the same customer
             within twelve months from the date of issue of FORMAT-LT2 unless new
             application substantially different from the original application is made.


2.3.2 Where electricity system strengthening is involved


      (i) STU shall carry out studies to access requirement of system strengthening and
             may require the customer to furnish additional information/study/data for further
             system studies within fifteen days. The customer shall submit information to
             STU within a month.


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                  Based on above information, STU shall prepare preliminary report of
            system study covering all aspects of UPEGC and communicate the same to all
            concerned within next one month.
                  Provided that if there are more than one application for long-term access,
            STU shall undertake joint studies and prepare one consolidated preliminary
            report and each customer associated with such studies pay fee separately.
                  STU shall invariably make copy to SLDC, transmission licensees and/or
            distribution licensees, as the case may be.


      (ii) The preliminary report shall be communicated along with specific information
            on FORMAT- LT2 to all concerns not later than ninety days of receipt of the
            payment under sub-clause 2.2.3 and such communication shall be deemed to
            be grant of open access. However in case of more than one application, the
            condition of ninety days shall not apply and STU shall fix such date which shall
            not be more than one hundred fifty days.
                  The customer shall enter into Bulk Power Transmission Agreement
            (BPTA) and/or Bulk Power Wheeling Agreement (BPWA) with concerned
            transmission licensee and/or distribution licensee within sixty days and the copy
            of such agreements shall be sent to SPC, SLDC, transmission licensees and/or
            distribution licensees, as the case may be.


      (iii) Notwithstanding anything contained in sub-clause 2.3.2(i), any other
            transmission licensee and/or distribution licensee shall also be required by STU
            to identify system strengthening requirements at their end and communicate
            the same to STU with relevant details in respect to inter-connection, cost
            estimates, construction milestones/schedule and site responsibility schedule,
            drawings and any other information as may be necessary for consideration of
            STU within forty five days from the date of receipt of preliminary report of
            system study under sub-clause 2.3.2(i).




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      (iv) The requirement of system strengthening brought out in preliminary report shall
            be integrated with the transmission plan (made as per Section 39 of the Act
            read with the provisions of UPEGC) prepared by STU. The plan so prepared
            shall be approved by CEA.


      (v) Based on approved transmission plan, STU shall finalise strengthening
            requirements in transmission and distribution systems, in consultation with
            SLDC and concerned transmission and/or distribution licensees or SPC as the
            need be.
                  System strengthening requirements should clearly identify expansion,
            augmentation, renovation, modernisation of existing sub-stations and/or electric
            lines and/or construction of new substations and electric lines. It also includes
            the decision regarding which party will construct, own, maintain and operate
            which part of the system strengthening scheme.
                  The final report shall be communicated to all concerned to take up the
            work of the system strengthening as per the schedules finalized or decisions
            taken therein.


      (vi) After final report is prepared, the customer, STU, any other transmission
            licensees and distribution licensees or any other person associated with
            transaction shall comply with such instructions, obligations, duties, time
            schedules or any other matter as may be specified by STU in final report.
                  Provided further that STU has not changed system strengthening
            requirements on the basis of any subsequent study carried out on its own
            motion or on an application of the customer, any other transmission licensees
            and distribution licensees and in such event, the changes carried out by STU
            shall be binding on the customer, any other transmission licensees and
            distribution licensees or any other person associated with transaction.




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3.    Bulk Power Transmission Agreement (BPTA) and/or Bulk Power Wheeling
      Agreement (BPWA)


3.1 Bulk Power Transmission Agreement (BPTA) and/or Bulk Power Wheeling
      Agreement (BPWA) shall be signed by the customer with STU, any other
      transmission licensees and distribution licensees, as the case be, agreeing therein
      to pay transmission and wheeling charges for use of the existing transmission
      and/or distribution system as per order of the Commission. These agreements
      shall be signed within time communicated to the customer under sub-clause
      2.3.1(iii) or under sub-clause 2.3.2(ii).


3.2 A supplementary BPTA and/or BPWA to the principal agreements signed under
      clause 3.1 shall also be signed by the customer with STU, any other transmission
      licensees and distribution licensees, as the case be, agreeing therein to pay
      additional transmission and wheeling charges for use of revised transmission
      and/or distribution system arising out of system strengthening as per order of the
      Commission. These agreements shall be signed within period specified by STU of
      for the customer under sub-clause 2.3.1 or under sub-clause 2.3.2.


3.3 The agreements made above shall include the following at the instance of STU:
            (a) requirement of protection system, metering, operational and safety criteria,
                data and communication system;
            (b) conditions of interconnection/connectivity, technical requirements thereof;
            (c) relevant drawings covering all aspects in relation to (a) and (b) above;
            (d) ‘Site Responsibility Schedule’ in relation to ownership, control, operation
                and maintenance of plant and apparatus and to safety of persons;
            (e) procedure necessary for site access, site operational activities and
                maintenance standards for equipment of concerned transmission licensee
                and/or distribution licensee and/or customer’s premises;




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             (f) provisions for the eventuality of premature termination of agreement and its
                consequences on the contracting parties;
             (g) provisions for compliance with the provisions of U.P. Electricity Grid Code,
                Indian Electricity Grid Code, regulations/norms/standards/codes specified
                by     CEA/UPERC             or     any      provision        of        planning       criteria/   any
                covenants/deeds/regulations               by     which      STU/Transmission              licensee    /
                distribution licensee are bound;
             (h) details of system strengthening requirements including inter-connection,
                approximate           cost        estimates,         construction          and       commissioning
                milestones/schedule,              schedule      of     commissioning             and      commercial
                operationalisation;
             (i) provisions for payment security, payment, rebate and surcharge as per
                UPERC (Terms and condition of transmission tariff) Regulations and
                UPERC (Terms and condition of distribution tariff) Regulations and orders of
                the Commission made thereunder;
             (j) Any other relevant necessary information.


3.4 For execution of work where electricity system strengthening is involved, the parties
      should note the following:


      (i) The implementation of respective system strengthening works shall be taken up
             by concerned licensee and the customer after signing of BPTA and/or BPWA
             for timely commission and operational it as per provisions of BPTA and/or
             BPWA.


      (ii)    The     customer        and     concerned         licensees       shall      furnish      progress     of
             implementation of the respective system strengthening works on quarterly basis
             to each other and other concerned with copy to STU and SLDC. Any other
             necessary execution or submission of information as per provisions of BPTA
             and/or BPWA shall also be complied.




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      (iii) The customer and concerned licensees shall inform, in writing, at least ninety
            days     ahead       of    scheduled        date      of    commissioning   and   commercial
            operationalisation of their system strengthening work to STU with copy to SLDC
            and other concerned/affected persons.

      (iv) Based on information received under sub-clause 3.4(iii), STU shall confirm the
            customer and concerned licensees at least sixty days ahead of scheduled date
            of commencement of long-term transaction and directed the customer to:

            (a) establish adequate payment security within thirty days; and

            (b) submit a request for scheduling of transaction to SLDC within thirty days.

3.5    Whenever any equipment and/or drawing are proposed to be changed, then the
      customer or licensee shall intimate necessary changes to STU with endorsements
      to SLDC and all other concerned. When changes are implemented, revised single
      line diagram shall be circulated by the customer or licensee to STU, SLDC and all
      concerned.


4.     SCHEDULING AND REVISION OF SCHEDULES


4.1 Open access transaction shall be carried out under the provisions of UPERC Order
      dated 24/25.9.2007 passed in matter of Availability Based Tariff and any other
      order passed from time to time, read with U.P. Electricity Grid Code, Indian
      Electricity Grid Code, UPERC (Terms and Conditions of Generation tariff)
      Regulations and any other relevant regulation/order/code, as the case may be, and
      as amended and applicable from time to time. SLDC shall make available above
      mentioned orders, codes, and regulations on its website.


5.    OTHER COMMERCIAL CONDITIONS


5.1 SLDC shall issue an energy account, statement of UI and corresponding UI charges
      and reactive energy and its charges, on the basis of data received from ABT
      meters along with data relating to declared capability and schedules etc., on


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      weekly basis in accordance with the provisions of UPERC Order dated
      24/25.9.2007 (the ABT Order) passed in matter of Availability Based Tariff and as
      amended from time to time.


5.2 Energy account prepared by SLDC shall be used for billing purposes.


5.3    The customer shall pay a fee to SLDC as specified in UPERC (Procedure, terms
      and conditions for payment of fee & charges to State Load Despatch Centre and
      other related provisions) Regulations, 2004 and amendment thereof.


5.4 The customer shall make payments of the following charges conveyed to it:


      (i) STU, any other transmission licensee and/or distribution licensee, as the case
            be, shall prepare a bill on monthly basis as per energy account issued by SLDC
            on the basis of transmission charges, wheeling charges determined by the
            Commission from time to time. Surcharge and additional surcharge, if any, shall
            also be recovered through such bill.


      (ii) The customer shall pay indicated amount directly to STU, any other
            transmission licensee and/or distribution licensee, as the case be, within time
            provided in BPTA and/or BPWA.


      (iii) The payment shall be made by mode agreed in BPTA and/or BPWA.


      (iv) The SLDC charges payable to SLDC shall be recovered from the customer
            through bill of transmission charges. STU shall reimburse the same to SLDC on
            monthly basis.


5.5 Based on energy account, the customer shall make payments of Unscheduled Inter-
      change (UI) Charges as provided under ABT Order and at rates of UI specified by
      the Central Electricity Regulatory Commission.



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              However, in case of captive users and the customer other than a distribution
      licensee, the following provision shall apply:
      (a) For Captive generating plant supplying electricity to its user connected or not
            connected with grid and a consumer, such user or a consumer shall ensure to
            draw power as per entitlement during each 15-minute time block. The drawal
            more than entitlement shall be considered as ‘back up supply’ (‘back up
            charges’ shall be constituted accordingly) to such captive generating plant or its
            user or consumer from distribution licensee of his area. Such overdrawal shall
            be charged at frequency linked rate 25% higher than UI rate specified by CERC
            form time to time.
      (b) Above charges shall be without prejudice to penalty which may be imposed by
            the Commission, for non-compliance of the provision of the Act, regulation or
            code or order made there under, on recommendation of SLDC.

      (c) The billing of the ‘back up charge’, under sub-para (a) above, shall be carried
            out with the billing of UI charges and paid within ten days.

5.6 Reactive Energy Charges associated with transaction shall be paid as per the
      provision of U.P. Electricity Grid Code or ABT Order or otherwise specified by the
      Commission by an Order.


5.7 Non-payment of any charge or sum of money payable by the customer under the
      Regulations shall be considered non-compliance of the Regulations and Section
      56 of the Act, the generating company or STU or any other transmission licensee
      or a distribution licensee may disconnect supply after giving the customer an
      advance notice of fifteen days without prejudice to his right to recover such
      charges by suit.
             Non-payment or delayed payment of UI bill shall be considered as default on
      part of the customer and for such continued defaults, SLDC may bring a case
      before the Commission for non-compliance of the Regulations under Section 142
      of the Electricity Act, 2003.




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6.    METERING


6.1 Metering arrangements shall be guided by the Regulation 16.


6.2 All other matters which are not covered in Regulation 16 regarding type, standards,
      ownership,         location,     accuracy        class,     installation,         operation,   testing   and
      maintenance, access, sealing, safety, meter reading and recording, meter failure or
      discrepancies, anti tampering features, quality assurance, calibration and
      periodical testing of meters, additional meters and adoption of new technologies
      etc. shall be governed by the Central Electricity Authority (Installation and
      Operation of Meters) Regulations, 2006, U.P. Electricity Grid Code and
      amendments thereof.


7.    ENERGY LOSS


7.1 Energy losses, estimated by SLDC for State transmission and distribution systems,
      shall be apportioned for all transactions (long-term and short-term transactions).
      Till such estimation is made by SLDC, transmission and wheeling losses shall be
      as specified by the Commission for determination of tariff.


7.2 Energy losses shall be accounted for by providing a differential between schedules
      at the points of supply and drawal of electricity of each customer interacting with
      transmission and/or distribution system. While allocating losses, compensation for
      less drawal shall be made.
              Thus net schedule at the point of drawal shall be supply schedule minus
      energy loss estimated for each customer.


8.    TRANSMISSION AND DISTRIBUTION SYSTEM CONSTRAINTS




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8.1 When for the reason of constraints or to maintain grid security, it becomes
      necessary to curtail power flow on transmission and/or distribution corridor, the
      transaction already reserved/scheduled may be curtailed by SLDC, if in its opinion
      such curtailment is likely to relieve transmission and/or distribution constraint or is
      likely to improve grid security.


8.2 In case of curtailment becoming necessary as result of deviation by the customer
      from final despatch and drawal schedule intimated to SLDC, the use of such intra-
      State system shall be curtailed first, to the full extent of such deviation, following
      which the principle specified in following sub-clause 8.3 shall apply.


8.3 When because of transmission and/or distribution systems constraint or otherwise,
      it becomes necessary to curtail the transmission and/or distribution services,
      curtailment shall be affected in the following order:
      (i) Any consumer permitted by the Regulations other than covered under sub-
            clause 8.3(ii) to 8.3(vii).
      (ii) Other captive power plant
      (iii) Other generating company
      (iv) Other distribution licensee
      (v) Existing captive power plant
      (vi) Existing generating company
      (vii) Existing distribution licensee


       “Existing” means that existing prior to the date of publication of UPERC (Terms
      and Conditions for Open Access) Regulations, 2004 in Official Gazette on 7th
      June’2005.


8.4 Notwithstanding the provisions of the Regulations, SLDC may, in cases of
      emergency and in order to maintain system security, follow such other principles of
      curtailment of use as it considers appropriate.




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8.5 In case of curtailment of capacity by SLDC, transmission charges and/or wheeling
      charges payable shall remain unaffected.


8.6 In case of a force majeure as determined and notified by SLDC, it may
      curtail/suspend any scheduled transaction. The decision of SLDC as to the
      existence of a force majeure condition shall be final and binding.


9. GENERAL


9.1 STU shall designate any officer as ‘Nodal Officer’ who shall make correspondence
      in the matter of open access and be responsible for processing and arranging
      long-term access. A public notice to above effect shall be made in newspapers and
      kept on web-site.


9.2    Any line or transformer or substation involved in an open access transaction shall
      be exempted from load shedding. SLDC shall be responsible to make proper
      arrangements in coordination with transmission/distribution licensee ensuring that
      the customer remains unaffected in the event of load shedding by distribution
      licensees.


9.3 STU shall maintain up-to-date records of customers, long-term transactions and
      any other relevant information/data and other decisions taken by it on its web-site
      and keep the Commission informed.


9.4 STU may modify formats specified under this procedure as the need be under
      intimation to the Commission. These formats shall also be kept on web-site.


9.5    STU, SLDC, any other transmission licensee, distribution licensee, generating
      company (generating station, captive generating plant, non-conventional sources
      of energy) or any other person supplying electricity within the State, trader and




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      open access consumer shall comply with the Electricity Act, 03 and the following
      orders, regulations and codes as amended from time to time and as applicable:
       (a) U.P.Electricity Grid Code;
       (b) UPERC order dated 24/25.9.2007 passed in matter of Availability Based Tariff
            and any other order;
       (c) UPERC (Procedure, terms and conditions for payment of fee & charges to
            State Load Despatch Center and other related provisions) Regulations;
       (d) UPERC (Terms & Conditions of Generation tariff) Regulations;
       (e) UPERC (Terms and Conditions for Supply of Power and Fixation of Tariff for
            sale of power from Captive Generating Plants, Co-generation, Renewable
            Sources of Energy and Other Non-Conventional Sources of Energy based
            Plants to a Distribution Licensee) Regulations;
       (f) UPERC (Terms and Conditions for Determination of Transmission Tariff)
            Regulations;
       (g) UPERC (Terms and Conditions for Determination of Distribution Tariff)
            Regulations;
       (h) UPERC (General Conditions of Transmission Licence) Regulations;
       (i) UPERC (General Conditions for Distribution Licence) Regulations;
       (j) UPERC (Procedure, Terms & Conditions for grant of Trading Licence for
            Intrastate Electricity Trader and other related provisions) Regulations;
       (k) Indian Electricity Grid Code;
       (l) Any other relevant order or regulation or code.


9.6 The customer shall keep STU and SLDC indemnified at all times and shall
      undertake to indemnify, defend and keep STU and SLDC harmless from any and
      all damages, losses, claims and actions including those relating to injury to or
      death of any person or damage to property, demands, suits, recoveries, costs and
      expenses, court costs, attorney fees, and all other obligations by or to third parties,
      arising out of or resulting from the open access transaction.




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9.7 All complaints regarding unfair practices, delays, discrimination, lack of information,
      supply of wrong information or any other matter related to open access in intra-
      State transmission shall be directed to the Member Secretary, State Power
      Committee. The Member Secretary, SPC shall investigate and endeavour to
      resolve the grievance as an arbitrator appointed by the Commission. The Member
      Secretary, SPC shall forward copy of its decision to the Commission. In case the
      Member Secretary, SPC is unable to resolve the matter, it shall be reported to the
      Commission for a decision.


9.8 An application involving inter-State transaction shall be governed by the regulations
      issued by the Central Electricity Regulatory Commission.




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                                                                                               FORMATS for Long-Term

                                                                                                          FORMAT- LT1

                            APPLICATION FOR GRANT OF LONG-TERM OPEN ACCESS
                                    (to be submitted by the customer to STU)

To: Chief Engineer (Transmission)
   Shakti Bhawan, Lucknow
1     Customer Application No.                  < self generated by customer >              Date
2     Customer Name
3     Nature of Customer*                  < seller/buyer/captive user/trader (on behalf of seller/buyer/captive user) >
4     Trading License No. & Type                        < if trader >                  Valid up to
 <* In terms of power transfer>

5     Period of Open Access Sought for
6     Proposed Date/Month of Commencement of Open Access
7     Details of Proposed Open Access
                   Date                       Hours                                                  Capacity
        From             To            From              To                                            MW*


< MW* at point of injection >

8     Electricity System Strengthening is Involved (Yes/No)                 < refer sub-clause 2.1.2/2.1.5 of procedure >

General Information

9     Registered Address                             < if registered as per Companies Act 1956 >

10    Authorised Person(s)
      (a) Prime Contact Details for the Purpose of Correspondences
      Name
      Designation
      Phone       (Off)                                     (Res)
      Mobile                                                  Fax
      E-Mail
      (b) Alternate Contact Details
      Name
      Designation
      Phone      (Off)                                      (Res)
      Mobile                                                 Fax
      E-Mail

11    Details of Non-Refundable Application Fee Made
         Bank Details                         Instrument Details                                         Amount(Rs.)
                            Type(Draft/Cash)       Instrument No.                         Date



12    Details of PPA/PSA/MoU
      Name & Address of Parties                 Date of                   Validity Period                    Capacity
        Seller         Buyer                 PPA/PSA/MoU            Commencement        Expiry                 MW*


< MW* at point of injection >



            FORMAT-LT1: APPLICATION FOR GRANT OF LONG-TERM OPEN ACCESS (Page -1 of 6)
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                                                                                                FORMATS for Long-Term

Technical Information of Injecting and Drawee Entity to Grid

13    Involvement of Grid System during Transaction                         Injecting Entity            Drawee Entity
      (a) Intra-State Transmission Network (Yes/No)
      (b) Intra-State Distribution Network (Yes/No)
      (c) Inter-State Transmission Network (Yes/No)                                          < if any >

14    Details of Injecting Entity
     (a)(1) Name
        (2) Status (in terms of Ownership)        <State Utility/CPP/IPP/ Discom/Consumer/specify, if any other>
        (3) Whether Existing or New Entity
        (4) Utility in which it is Embedded
        (5)Whether Existing Long-term Customer                               < yes/no >
        (6)Open Access Requirement of Entity
         (i)Existing Capacity in Use (Contracted)                            < if any >
         (ii)Open Access Capacity Sought for
         (iii) Total Capacity (i+ii) (MW)
        (7) Point of Grid Connectivity                                < existing/proposed >
         (i) Name of Sub-station
         (ii) Voltage level of Injection
         (iii) Name of Licensee (Owner of S/S)
        (8) ABT Interface Metering*
          (i) Type
          (ii) Make
          (iii) Rating
     (b) Other relevant information to support processing of application

     (c) Other information as notified by STU on its web-site

< * Only in case if system strengthening is not involved and enclose supporting documents duly signed on each page >

15    Details of Drawee Entity
     (a)(1) Name
        (2) Status(in terms of Ownership)        <State Utility/CPP/IPP/ Discom/Consumer/specify, if any other>
        (3) Whether Existing or New Entity
        (4) Utility in which it is Embedded
        (5)Whether Existing Long-term Customer                              < yes/no >
        (6)Open Access Requirement of Entity
         (i)Existing Capacity in Use(Contracted)                            < if any >
         (ii)Open Access Capacity Sought for
         (iii) Total Capacity (i+ii) (MW)
        (7) Point of Grid Connectivity                               < existing/proposed >
         (i) Name of Sub-station
         (ii) Voltage level of Drawee
         (iii) Name of Licensee (Owner of S/S)
        (8) ABT Interface Metering*
          (i) Type
          (ii) Make
          (iii) Rating
     (b) Other relevant information to support processing of application

     (c) Other information as notified by STU on its web-site

< * Only in case if system strengthening is not involved and enclose supporting documents duly signed on each page >


            FORMAT-LT1: APPLICATION FOR GRANT OF LONG-TERM OPEN ACCESS (Page -2 of 6)
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Technical Information of ‘Electricity Systems’ of Injecting and Drawee Entity

16    In case of Generating Station (Existing/Extension of Existing Station)
      < Customer may enclose supporting documents, as considered appropriate, duly signed on each page >
     (a) Existing Details of Station
        (1) Name
        (2) Name of Promoter
        (3) Location (with District)
        (4) Generation Capacity
        (5) Details of Units                        Unit-                Unit-               Unit-
                                (Capacity in MW)
        (6) Type                                   < thermal/hydro/non-conventional/specify, if any other >
        (7) Fuel
        (8) Previous Three Years Generation           F. Y.                F. Y.               F. Y.
                                      ( in MU)
        (9) Whether Captive Plant                   < yes/no; if yes F.Y. wise utilization during last 3 years>
        (10) Base Load or Peaking Load Station       <if peaking load, details of estimated hours of running >
       (11)Interfacing Voltage level with Grid S/S
        (12) Provision of Reactive Power
        (13) Other relevant Information
     (b)Augmentation/Renovation/Modernisation/Extension Details of Station (if any)
        (1) Specific Details
        (2) Commissioning Schedule
        (3) Other relevant Information
     (c)Description of ‘electricity systems’ along with Single Line Diagram (connected and/or proposed)

     (d) Other information as notified by STU on its web-site



17    In case of New Generating Station
      < Customer may enclose supporting documents, as considered appropriate, duly signed on each page >
     (a)(1) Name
        (2) Name of Promoter
        (3) Location (with District)
        (4) Generation Capacity
        (5) Details of Units                        Unit-                Unit-               Unit-
                                (Capacity in MW)
                       (Commissioning Schedule)
        (6) Type                                   < thermal/hydro/non-conventional/specify, if any other >
        (7) Fuel
        (8) Whether Captive Plant                                            < yes/no >
        (9) Base Load or Peaking Load Station        <if peaking load, details of estimated hours of running >
       (10)Interfacing Voltage level with Grid S/S
        (11) Provision of Reactive Power
        (12) Whether identified Station of CEA                               < yes/no >
        (13) Status of Clearances (Yes/No)
            i) Land Requisition
            ii) Fuel Agreement
            iii) Environment and Forest
            iv) TEC                                                        <if required>
            v) PPA with Beneficiaries
        (14) Other relevant Information
     (b)Description of proposed ‘electricity systems’ along with Single Line Diagram

     (c) Other information as notified by STU on its web-site

            FORMAT-LT1: APPLICATION FOR GRANT OF LONG-TERM OPEN ACCESS (Page -3 of 6)
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18      Details of Final Beneficiary ( to whom Power is to be Transmitted and/or Wheeled)
     < Customer may enclose supporting documents, as considered appropriate, duly signed on each page >
      (A) In case of Distribution Licensee
     (a)(1) Name of Entity
        (2) Address of Entity
        (3) Utility in which it is Embedded
        (4) Allocation of Power (MW)
        (5) Other relevant Information
     (b) Other information as notified by STU on its web-site

      (B) In case of other than Distribution Licensee
     (a)(1) Name of Person/Entity
        (2) Address of Person/Entity
        (3) Utility in which it is Embedded
        (4) Place of Installation to be Benefited
        (5) Allocation of Power (MW)
        (6)Quantum of Special Loads like arc furnace etc.    <requiring high reactive support from system
        (7) Reactors/Capacitors Installed
        (8)Beneficiary is Consumer of Distribution Licensee                    < yes/no>
            If Yes , then i) Name of Distribution Licensee
                           ii) Existing Contracted Capacity
        (9) Other relevant Information
     (b) Other information as notified by STU on its web-site


19    Other relevant Information



Undertaking on Behalf of Customer/User’s involved in Transaction
20    Declaration
      (a) All Entities/Utilities to transaction shall abide by provisions of the Electricity Act 2003(the Act),
      UPERC (Terms and Conditions for Open Access) Regulations read with “Procedure for Long-
      Term Open Access” and any other relevant regulation/order/code as amended from time to time.
      (b) M/s ____________________have a valid license (No. _______ , Type ___ and valid up
      to__________) issued by ____________ for inter-State/intra-state trading and will abide by CERC
      Regulations on inter-State Trading License, as amended from time to time/ UPERC (Procedure,
      Terms and Conditions for grant of Trading Licence for Intrastate Electricity Trader and other
      related provisions) Regulations and amendments thereof .
                                < This clause is applicable only in case customer is a trader >
      (c) The electricity systems (involved in transaction) shall abide by provisions of UPEGC, IE Rules
      1956 made under Section 37 of Indian Electricity Act 1910 whichever applicable, Technical
      Standards for Construction of Electrical Plants, Electric Lines and Connectivity to Grid specified
      by CEA, measures relating to Safety and Electric Supply made by CEA under Section 53 of the
      Act, Standards of performance of licensee made by the Commission under Section 57 and 58 of
      the Act, and Installation and Operation of Meters Regulations made by CEA.
      (d) I hereby agree to keep STU and SLDC indemnified at all times and undertakes to indemnify,
      defend and save STU and SLDC harmless from any and all damages, losses, claims and actions
      including those relating to injury to or death of any person or damage to property, demands,
      suits, recoveries, costs and expenses, court costs, attorney fees, and all other obligations by or
      to third parties, arising out of or resulting from open access transaction.


Place                                           Signature (with stamp)
Date                                            Name & Designation

             FORMAT-LT1: APPLICATION FOR GRANT OF LONG-TERM OPEN ACCESS (Page -4 of 6)
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Enclosures
(1) Non-refundable application fee of Rs. 50,000/- by demand draft or cash receipt (if payment by cash).
(2) Self–certified copy of PPA/PSA/MoU entered between the parties (buyer and seller) of transaction
    stating contracted power, period of transaction, drawal pattern, point(s) of injection and drawal etc.
(3) Self-certified copy of trading license. (If applicable)
(4) Detailed description of ‘electricity systems’ of injecting and drawee entities (involved in the
    transaction) already connected and/or proposed to be connected with intra-State transmission
    system along with single line diagrams.
(5) Connectivity and interface metering related supporting documents including outdoor and indoor
    layout single line diagrams. (If existing User’s of intra-State system)
(6) If any other.

Copy to along with relevant enclosures [except (1), (2) & (3)]
(1) State Power Committee.
(2) Managing Director of any other transmission licensee involved in transaction.
(3) Managing Director of distribution licensee involved in transaction.
(4) State Load Despatch Centre.
(5) Any other concerned.


For use of STU (with Reference to Enrolment of Application)
STU Reference ID No.
Or Reason of Refusal*
In case Application is Rejected




< * STU may also enclose supporting documents for the reasons of refusal duly signed on each page >




            FORMAT-LT1: APPLICATION FOR GRANT OF LONG-TERM OPEN ACCESS (Page -5 of 6)
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                                                 ACKNOWLEDGEMENT
                                                   (for office use only)

                            APPLICATION FOR GRANT OF LONG-TERM OPEN ACCESS

(A) < to be filled by the customer >
 1 Customer Application No.             < self generated by customer >          Date
 2 Customer Name
 3 Nature of Customer*               < seller/buyer/captive user/trader (on behalf of seller/buyer/captive user) >
 4 Trading License No. & Type                     < if trader >                  Valid up to
 <* In terms of power transfer>

5     Period of Open Access Sought for
6     Proposed Date/Month of Commencement of Open Access
7     Details of Proposed Open Access
                   Date                       Hours                                            Capacity
        From             To            From              To                                      MW*


< MW* at point of injection >

(B) < to be filled by STU >
    Date and Time of Receipt
          of Application

Place                         Signature (with stamp)
Date                          Name & Designation
    FORMAT- LT1: APPLICATION FOR GRANT OF LONG-TERM OPEN ACCESS (Page -6 of 6)
………………………………………………………………………………………………………...

                                             ACKNOWLEDGEMENT
              (to be issued by STU to the customer immediately on receipt of application duly filled in)

                            APPLICATION FOR GRANT OF LONG-TERM OPEN ACCESS

(A) < to be filled by the customer >
 1 Customer Application No.             < self generated by customer >          Date
 2 Customer Name
 3 Nature of Customer*               < seller/buyer/captive user/trader (on behalf of seller/buyer/captive user) >
 4 Trading License No. & Type                     < if trader >                  Valid up to
 <* In terms of power transfer>

5     Period of Open Access Sought for
6     Proposed Date/Month of Commencement of Open Access
7     Details of Proposed Open Access
                   Date                       Hours                                            Capacity
        From             To            From              To                                      MW*


< MW* at point of injection >

(B) < to be filled by STU >
    Date and Time of Receipt
          of Application

Place                                  Signature (with stamp)
Date                                   Name & Designation
N.B.: This counterfoil may be scored out and issued to the customer.
         FORMAT-LT1: APPLICATION FOR GRANT OF LONG-TERM OPEN ACCESS (Page -6 of 6)
                                                                                                                 34
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                                                                                                     FORMATS for Long-Term

                                                                                                                    FORMAT- LT2
                           APPROVAL FOR LONG-TERM OPEN ACCESS
                                    (to be issued by STU)
Ref: STU Ref. No. ________________                                                                                  Date ________

To :___________( Name and Address of Customer)

1     Customer Application No.   < as provided by customer on Format LT1 > Date
2     Customer Name
3     Nature of Customer*          < seller/buyer/captive user/trader(on behalf of seller/buyer/captive user) >
4     Trading License No. & Type               < if trader >                Valid up to
 <* In terms of power transfer>

5     Period of Open Access Approved for
6     Date/Month of Commencement of Open Access
7     Details of Open Access
                  Date                        Hours                                                         Capacity
        From             To              From                                      To                         MW*


< MW* at point of injection >

8    Nature of Requirement for Grant of Open Access ( Refer sub-clause 2.2/2.3 of Procedure)
     Electricity System Strengthening is Involved (Yes*/No)
< * In case if ‘Yes’ i.e. system strengthening is involved, enclose preliminary report duly signed on each page >

9     Details of Transaction Party’s to Grid
                                                               Injecting Entity                        Drawee Entity
      Name of Entity
      Status of Entity*
      Utility in which it is Embedded
< * In terms of ownership- State Utility/CPP/IPP/ ISGS/Discom/Consumer/specify, if any other >

10    Involvement of Grid System during Transaction                               Injecting Entity           Drawee Entity
      (a) Intra-State Transmission Network (Yes/No)
      (b) Intra-State Distribution Network (Yes/No)
      (c) Inter-State Transmission Network (Yes/No)                                               < if any >

11    Details of Injecting/Drawee Connectivity with intra-State System
                                                     Injecting Entity                                  Drawee Entity
      Name of Sub-station       Transmission
                                 Distribution
      Voltage Level             Transmission
                                 Distribution
      Name of Licensee (Owner of S/S)
      Intervening intra-State Licensee
      Intervening inter-State Licensee
< Distribution license, if required, may treat interface periphery as its connectivity points >

12     Details of Final Beneficiary ( to whom Power is to be Transmitted and/or Wheeled)
      (1) Name of Person/Entity
      (2) Address of Person/Entity
      (3) Utility in which it is Embedded
      (4) Allocation of Power (MW)
      (5) Place of Installation to be Benefited         < in case other than distribution licensee >
      (6) Name of Distribution Licensee         <in case beneficiary is consumer of distribution licensee>

                    FORMAT-LT2: APPROVAL FOR LONG-TERM OPEN ACCESS (Page -1 of 2)
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13    Other information as notified by STU on its web-site


General Information

14    Registered Address                             < as provided by customer on Format LT1 >

15    Authorised Person(s)
      (a) Prime Contact Details for the Purpose of Correspondences
      Name
      Designation
      Phone       (Off)                                     (Res)
      Mobile                                                  Fax
      E-Mail
      (b) Alternate Contact Details
      Name
      Designation
      Phone      (Off)                                      (Res)
      Mobile                                                 Fax
      E-Mail

16. The grant of long-term open access for use of intra-State system for transmission and/or wheeling
    of capacity is vide Nodal STU Approval No. ________ dated _____ subject to following conditions:
    (a) __________________________
    (b) __________________________

17. The preliminary report with reference to said transmission and/or wheeling capacity allotment in
    intra-State system is enclosed herewith. < only in case if system strengthening is involved >

18. The terms and conditions for said transmission and/or wheeling capacity allotment through long-
    term open access shall be as per Bulk Power Transmission Agreement (BPTA) and/or Bulk Power
    Wheeling Agreement (BPWA), the draft(s) of which is/are enclosed herewith. You are requested to
    execute the BPTA and/or BPWA with concerned transmission licensee and/or distribution licensee
    within ____ days from the date of this allotment letter.

19. The said approval of transmission and/or wheeling capacity for use of intra-State system through
    long- term open access is subject to UPERC (Terms and Conditions for Open Access) Regulations,
    read with “Procedure for Long-Term Open Access” and any other relevant regulation/order/code, as
    the case may be, as amended and applicable from time to time.

Place                                        Signature (with stamp)
Date                                         Name & Designation

Enclosure
(1) BPTA and/or BPWA
(2) Preliminary Report (if applicable)
(3) If any other

Copy to along with preliminary report and other relevant enclosures
(1) State Power Committee.
(2) Managing Director of any other transmission licensee involved in transaction.
(3) Managing Director of distribution licensee involved in transaction.
(4) State Load Despatch Centre.
(5) Any other concerned.

                  FORMAT-LT2: APPROVAL FOR LONG-TERM OPEN ACCESS (Page -2 of 2)

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